Safety Management Systems Programme

Safety Management Systems Programme A Guide to RSSB Activities Rail Safety and Standards Board GN/NPD/001 May 2007 Issue 2.0 Issue Record Issue Date Comments Changes from previous version 1.0 April 2007 Original document, prepared by RSSB in consultation with the industry. Raw text web version incorporated into RSSB corporate identity suitable for printing Minor amendment to ‘How to use this guide’ section and part of Background section incorporated into Foreword 2.0 May 2007 Superseded documents This Guidance does not supersede any other published documents. Supply This Guidance can be viewed www.rssb.co.uk/rogs_update.asp. and downloaded from the RSSB website Production and approval of the document This document has developed by RSSB’s National Programmes Directorate and has been approved by RSSB’s Executive Team. Rail Safety and Standards Board GN/NPD/001 May 2007 Issue 2.0 Foreword With regard to The Railways and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS), the Rail Safety and Standards Board (RSSB) has prepared this short guide to its activities. The purpose of the guide is to help RSSB members, transport operators and other relevant stakeholders prepare their company ROGS-compatible safety management systems (SMS) for safety certification and authorisation purposes. The guide describes industry interface arrangements with RSSB and adoption of the RSSB interface arrangements specified in this guide will help our members consistently describe the interface with and participation in RSSB processes and systems. This represents an important component of ROGS duty of cooperation requirement. The guide has been prepared following review of early SMS documents and has been written in SMS-compatible language. The wording is downloadable from the RSSB website and may only require minor changes to incorporate into transport operators’ SMSs. Those duty holders who have already had their SMS submissions accepted by the Office of Rail Regulation (ORR), are encouraged to review their submission against the applicable references included in the guide and make amendments as appropriate to ensure that these cooperative processes are accurately represented. Changes such as this will not constitute a substantial or major change to a safety certificate or authorisation as they reflect what is already in place; therefore will not require re-submission to the ORR. Len Porter Chief Executive, RSSB Rail Safety and Standards Board GN/NPD/001 May 2007 Issue 2.0 Table of Contents Foreword ............................................................................................................................ 3 Table of Contents .............................................................................................................. 4 Purpose .............................................................................................................................. 5 Background ....................................................................................................................... 5 How to use this guide ....................................................................................................... 5 Review and revision .......................................................................................................... 6 Other useful publications ................................................................................................. 6 Safety Legislation.............................................................................................................. 6 1 Risk evaluation and control ...................................................................................... 7 Safety Risk Model (SRM)............................................................................................. 7 Train Accident Precursor Indicator Model (PIM) ........................................................... 8 Safety decision criteria................................................................................................. 8 Safety Management Information System (SMIS) ......................................................... 9 Signal Passed At Danger (SPAD) risk-related material ................................................ 9 Risks related to supply of maintenance and materials ................................................. 9 Risks to employees, passengers, public and contractors and risk from others ............. 9 2 Safety plans, common safety targets (CSTs) and common safety indicators (CSIs) .......................................................................................................................... 11 Safety planning ............................................................................................................ 11 Safety data and reporting ............................................................................................ 11 SMIS ........................................................................................................................... 11 3 Management of standards ........................................................................................ 12 Standards framework................................................................................................... 12 Legislation ................................................................................................................... 12 Technical Specifications for Interoperability (TSIs) ...................................................... 12 Notified National Technical Rules (NNTRs) ................................................................. 13 Railway Group Standards (RGS) ................................................................................. 13 4 Placing into service of new or altered vehicles/ infrastructure .............................. 14 5 Training and competence and fitness/fatigue ......................................................... 16 Railway Group Standards ............................................................................................ 16 Fitness and Fatigue ..................................................................................................... 16 6 Exchange of safety information................................................................................ 17 Railway Group Standards ............................................................................................ 17 CIRAS ......................................................................................................................... 17 7 Accident reporting, investigation, analysis and action........................................... 18 Railway Group Standards ............................................................................................ 18 SMIS ........................................................................................................................... 18 8 Emergency planning ................................................................................................. 18 9 Cooperation including: national schemes, research and development and standards. .................................................................................................................. 19 Industry cooperation .................................................................................................... 19 Cross-industry groups.................................................................................................. 19 Research and development ......................................................................................... 20 Further information on standards committees and systems interface committees ........ 20 10 Safe design, maintenance and operation of the infrastructure .............................. 20 11 Safe design maintenance and operation of rolling stock ....................................... 20 Glossary ............................................................................................................................. 21 Purpose To provide RSSB members, transport operators and other relevant stakeholders with a safety management system (SMS) guide to the interface with, and participation in, RSSB programmes, procedures and systems. Background The Railways and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS) require all mainline transport undertakings to develop a formalised SMS (and obtain acceptance of it) by 30 September 2008. This is in accordance with a timetable agreed by the Office of Rail Regulation (ORR). In preparing their SMSs, transport operators must identify and address risks which their operations may pose to other railway organisations; Regulation 17 requires them to engage these ‘affected parties’ and to demonstrate that suitable risk controls are in place. Transport operators are also required to submit their SMSs to all affected parties, concurrent with submission to the ORR for acceptance. This will provide the affected parties with the opportunity to review a formal SMS application and submit any comments to the ORR (which is then required to consider them as part of its review of the SMS application). ROGS Regulation 22 requires transport operators to develop a formal means of cooperating with affected parties to maintain and improve the safety of the whole railway system. RSSB is not a formal affected party under the terms defined by the ROGS Regulations; however, mainline transport operators are required as a condition of their operating license – issued by ORR under the Railways Act 1993 – to become a member of RSSB and participate in industry processes operated by it. In a practical sense, RSSB’s role is to work with its members and other stakeholders to develop and improve safety management through a series of structured programmes, processes and systems. Therefore, active participation with RSSB will make an important contribution to a transport undertaking’s duty of cooperation arrangements and, as such, should be documented in its SMS. Early experience of the new SMS regime has identified some inconsistencies and omissions in describing the interface with RSSB. This guide has thus been prepared to help transport operators consistently describe their interface arrangements with RSSB. The guide has been prepared following review of a number of SMS documents and has been written in SMScompatible language to assist RSSB members. How to use this guide To facilitate easy use, the guide has been structured in accordance with the acceptance criteria for the ROGS Regulations issued by the ORR. Additionally, specific ROGS Regulations crossreferences have been included. Where appropriate, the guide also makes reference to specific Railway Group Standards (RGSs) because of their relevance to the application of a transport operator’s SMS; however, it must be emphasised that all RGSs are instruments of cooperation and are therefore relevant to the practical implementation of an SMS. Transport operators are recommended to use this guide when planning the structure of their new SMSs and identifying affected parties. Once drafting of the SMS commences, it is Safety Management Systems Programme – A Guide to RSSB Activities, May 2007, Issue 2.0 Page 5 of 18 suggested that the wording within this guide be considered and inserted as appropriate. To assist with detailed drafting, a downloadable Microsoft Word version of this document is available on the RSSB website, www.rssb.co.uk. For transport operators who have already submitted their SMSs (or have obtained ORR acceptance), it is recommended that this guide is reviewed and consideration is given to amending SMSs accordingly. This will reflect a consistent industry approach to membership of and participation in RSSB. ORR authorisation of such a change is not normally required as such changes would not be deemed ‘substantial’ in operational terms (per ROGS Regulations 8 and 11). Review and revision The contents of this guide will be regularly reviewed and, where appropriate, revised to maintain accuracy. Other useful publications To assist transport operators in developing their SMSs, the ORR has prepared and published the following documents, which are available on the ORR website (www.rail-reg.gov.uk):  The Railways and Other Guided Transport Systems (Safety) Regulations 2006 – Guidance on Regulations (April 2006).  Assessment Criteria for Safety Certificate and Authorisation applications made under ROGS (April 2006). RSSB has also produced and published a number of documents to assist transport operators in developing and operating their SMSs. These are available on the RSSB website, www.rssb.co.uk, and are listed below (please note the publication date if not yet available):     Guide to ROGS presentation. Existing Railway Safety Case (RSC) Holder ROGS Transition Supplement. Guidance on how to use RSC Holder ROGS Transition Supplement. A Guide to the Practical Implications and Operation of Regulation 22: Duty of Cooperation between Transport Operators on Mainline Rail Network. (to be published in May 2007)  SMS Support Programme.  Duty of Cooperation Guide to Industry Safety Meeting Structure (to be published in June 2007). RSSB is shortly to commence preparation of a good practice guide to a mainline SMS. After issue of this document, RSSB will start work on a wider-ranging guide to ROGS-compatible SMSs. Safety Legislation On behalf of the industry, RSSB monitors emerging safety legislation, both of a general and railway-specific nature. RSSB also tracks this through to the point where it becomes law, analysing the potential effect on the railway industry. This is published to the industry through the quarterly Safety Legislation Update. In addition, RSSB responds as appropriate to Government consultation exercises. Industry input to these processes is through the Railway Safety Legislation Committee. Safety Management Systems Programme – A Guide to RSSB Activities, May 2007, Issue 2.0 Page 6 of 18 1 Risk evaluation and control ROGS Regulations 5, 19, Schedule 1, Paras 63d, e, 75, 142 – 147, 194d 1.1 The UK rail industry cooperates in understanding and evaluating industry-wide risk through the following process:  All SMS holders are committed to entering their accident and incident data into Safety Management Information System (SMIS).  RSSB compiles and analyses the data in SMIS to produce the Safety Risk Model (SRM) and the Precursor Indicator Model (PIM), which give an understanding of the industry-wide residual risk.  RSSB shares these analyses with the industry through regular publication of the SRM and the PIM.  SMS holders use SMIS, the SRM and the PIM to monitor and review their own systems. 1.2 It should be noted that both the SRM and PIM model industry wide risk and therefore are only capable of being used as a guide to understand individual SMS holder risk. Safety Risk Model (SRM) 1.3 The SRM is a detailed model of the 125 hazardous events that could lead directly to injury or fatality during the operation and maintenance of the mainline railway. The SRM shows the level of residual risk, with existing controls, for passengers, the workforce and members of the public. It covers all Network Rail managed infrastructure (NRMI) and is maintained by RSSB on behalf of the industry. 1.4 The hazardous events are divided into three types:  Train accidents: in general, this covers accidents involving trains that are reportable under the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations, 1995 (RIDDOR): structural collapses at stations are also included.  Movement accidents: accidents to people involving trains (in motion or stationary) that are not included in the train accident category.  Non-Movement accidents: other accidents not related to the movement of trains that occur on NRMI. 1.5 The model uses historical data from a wide range of sources, including the Safety Management Information System (SMIS) and the Fault Monitoring System (FMS). This is combined with detailed analysis of particular areas to cover very rare events and the full range of potential consequences. For each hazardous event (such as derailment of passenger train or workforce manual handling injury) cause and consequence trees have been developed to identify the failure sequences needed for a hazardous event to arise and to review the potential for different outcomes, depending on the circumstances around the event. The SRM lists over 2,200 precursors that can contribute to the causes of hazardous events. 1.6 As the SRM provides a comprehensive view of risk, it can be used to compare risk from different types of hazard, allowing for effective prioritisation of safety management effort. 1.7 The SRM is a vital tool in assessing the cost-effectiveness of potential mitigations, as it allows a quantified estimate of the risk reduction to be made by looking at the effect of the Safety Management Systems Programme – A Guide to RSSB Activities, May 2007, Issue 2.0 Page 7 of 18 mitigations on the relevant individual precursors. This can then be used as an input to cost/benefit analyses. 1.8 The SRM is updated regularly by RSSB. The different versions can be compared to see how the risk profile has changed over time; this allows the effectiveness of management effort in different areas to be reviewed and kept up to date. 1.9 The Risk Profile Bulletin (RPB) is a significant output from the SRM. It provides comprehensive information on the frequency, consequence and risk associated with each of the 125 hazardous events and their causes. This enables the dominant railway risk contributors to be identified and the safety benefits associated with safety improvements to be evaluated. This information assists the railway industry (and other interested parties) in developing and managing safety strategies. The RPB covers all running lines, rolling stock types, locations and stations currently in use on NRMI. Train Accident Precursor Indicator Model (PIM) 1.10 The PIM focuses on train accident risk through the analysis of performance against train accident precursors. It therefore provides a snapshot of the change in the underlying train accident risk and is capable of identifying trends. It is updated and published quarterly by RSSB on behalf of the industry. Safety decision criteria 1.11 The industry’s Safety Decisions Programme (facilitated by RSSB) has provided the opportunity for a consistent and defensible approach to taking decisions that affect safety. This programme has reviewed the legal position emerging from statute and case law and identified existing uncertainties. An extensive programme of consultation with the industry has also been undertaken, along with a significant programme of research. RSSB is publishing a document, Taking Safe Decisions, to provide a clear description of the principles that those within the industry should apply when taking decisions. 1.12 The SMS holder’s decision-taking criteria should reflect the high level principles described in Taking Safe Decisions, when it is published. The document is currently under discussion between RSSB, Network Rail, the Association of Train Operating Companies (ATOC) and the rest of the industry. It is due for publication in May 2007. Principles described include:  'Societal concerns' do not affect legal duties, but can impact upon commercial judgement.  How the tolerability of risk framework should be applied in industry (and by extension how notions of ‘individual risk’ affect industry decision making).  Removing risk controls if they are not reasonably practicable is valid.  The basis on which significant decisions are taken should be recorded. 1.13 When the costs and safety benefits of a proposed risk control are being judged quantitatively, it is necessary, as a way of comparing the two sides of the balance, to place a monetary value on costs and safety benefits. The SMS holder applies this principle by adopting a monetary value of preventing a fatality (VPF) or weighted injury. 1.14 The VPF applies to fatalities and weighted injuries, where one fatality is considered equivalent to 10 major injuries or 200 minor injuries. The VPF applied by the SMS holder during 2007 is £1.573m. This value is updated annually in line with the VPF published by the Department for Transport in the Highway Economic Note (HEN) 1. It can be found at http://www.rssb.co.uk/ssr_vpf.asp. Safety Management Systems Programme – A Guide to RSSB Activities, May 2007, Issue 2.0 Page 8 of 18 Safety Management Information System (SMIS) 1.15 SMIS is the industry-wide system used to collate accident/incident information. It is also used for the production of statistics and analyses. SMIS is owned and operated by RSSB, which manages the system on behalf of the industry. 1.16 SMIS also has the capability for SMS holders to record and track the progress of recommendations arising from local investigations, industry investigations and RAIB investigations/inquiries. 1.17 SMIS is used by all SMS holders who input information to the system in order to comply with the provisions of Railway Group Standard GE/RT8047 Reporting of Safety Related Information (which mandates the requirements for SMIS reporting). 1.18 Where deemed necessary, the SMS holder’s standards specify the requirement to report certain types of safety incident. 1.19 RSSB intends to offer assistance to SMS holders to develop bespoke safety reports to record progress on their own Key Performance Indicators. Signal Passed At Danger (SPAD) risk-related material 1.20      RSSB maintains the following SPAD related material for use in managing SPAD risk: SPAD Risk Management Support Tool. SPAD Hazard Checklist. SPAD Mitigations and the Signal Sighting Framework. SPADWEB. Multi SPAD signal listing. Risks related to supply of maintenance and materials 1.21 The Railway Industry Supplier Approval Scheme (RISAS) has been developed as a national system of independent third-party assessment and approval of suppliers of the overhaul of traction and rolling stock equipment. Through its role as the Accreditation Agency, RSSB accredits Approval Bodies, allowing them to assess suppliers in specific activities. Once certified under RISAS, suppliers do not need to be subjected to general audits by each client. This saves time and money for both suppliers and clients, allowing them to concentrate on the bespoke elements of a contract. As RISAS has been accepted by ORR as satisfying Cullen, Part 2(recommendation 24), organisations’ adoption of RISAS in their SMSs will demonstrate their own compliance. 1.22 RISAS is not a pre-qualification scheme and therefore does not cover all of the aspects that such a scheme is designed to cover. The requirements for this are covered in GM/RT2450 Qualification of Suppliers of Safety Critical Engineering Products and Services (1995). Risks to employees, passengers, public and contractors and risk from others 1.23 The risks associated with the movement of trains, including safety of persons on or about running lines, are controlled at the operational level through the correct application of detailed rules and instructions. These rules and instructions support practical application of higher level statutory requirements (such as the TSI, ROGS or the Health and Safety at Work etc Act) and other Railway Group Standards (such as those governing signalling systems). 1.24 The core national rules and instructions required for the consistent management of safety across the interfaces between different groups of employees and different organisations are published in Railway Group Standards: Safety Management Systems Programme – A Guide to RSSB Activities, May 2007, Issue 2.0 Page 9 of 18  GE/RT8000 The Rule Book (for all train operations and infrastructure work).  GO/RM3056 The Working Manual for Rail Staff (for freight operations). 1.25 These documents define the requirements and detailed procedures for safe interworking, and are supplemented locally by other mandatory instructions not published by RSSB, including:     Sectional Appendices. Radio Electronic Token Block Regulations. Cab Secure Radio instructions. Local instructions, as defined in GE/RT8004 Local Operations Instructions, where the Infrastructure Manager or Railway Undertaking may vary national rules to meet specific local situations, such as Signal Box Instructions. 1.26 Taken together, these Rules, Regulations, Instructions and Appendices define the controls and authority for movement, whether in normal mode, degraded mode or emergency conditions. Safety Management Systems Programme – A Guide to RSSB Activities, May 2007, Issue 2.0 Page 10 of 18 2 Safety plans, common safety targets (CSTs) and common safety indicators (CSIs) ROGS Regulations 5 & 20, Schedules 1&3, Paras 63a, b, 149 – 151, 192, 194b, 209 Safety planning 2.1 The SMS holder’s approach to safety planning should involve all the relevant parties undertaking a review of the risk profile, and cooperating in the development of their respective safety objectives and plans which should be set out in a company safety plan or a section in the company’s business plan. 2.2 When making reference to the Strategic Safety Plan, explain that its purpose is to show collectively the current initiatives for further reducing the risk profile in key safety risk areas. Safety data and reporting 2.3 RSSB provides assistance to the industry via supply of data and general guidance on this issue. As such, reference could be made to:  Annual Safety Report Guidance (2007).  The Provision of Data for Common Safety Indicators (2007) – an explanatory note detailing the requirements on transport operators.  Quarterly updates on CSI data produced by RSSB.  Annual Safety Performance Report and other safety reports. SMIS 2.4 Make reference to SMIS as a source of data for input to the company’s Safety Plan. (For further details of SMIS, see section 1 on risk evaluation and control.) Safety Management Systems Programme – A Guide to RSSB Activities, May 2007, Issue 2.0 Page 11 of 18 3 Management of standards ROGS Regulation 5, Schedule 1, Paras 63a, 194c Standards framework 3.1 SMS holders manage their risks through a combination of bespoke management activity and compliance with standards. While there is significant discretion over the nature of the bespoke management systems, there is a hierarchy of standards within the rail industry that are mandatory. These range from legislative instruments – such as Regulations enabled under the Health and Safety at Work etc Act, European Standards (known as Technical Specifications for Interoperability) – and mandatory domestic interface standards (known as Railway Group Standards). Within the scope of each of these, there is no discretion among SMS holders over compliance (though there may be means of regularising or legitimising non compliance). Where SMS holders have company standards, these have to fit within the wider framework of mandatory Regulations and Standards. In areas of activity where SMS holders have discretion regarding safety management, they can choose whether to use bespoke systems (such as risk assessment prior to making changes) or whether to predetermine how they manage through the adoption of company standards. Where tasks are undertaken repetitively, it is usually more efficient to have company standards prepared in advance rather than to ‘risk assess’ every time something is done Legislation 3.2 European rail directives are aimed at providing open access to rail infrastructure, building a single European supply market and creating a trans-European rail network. This is achieved by creating separation between infrastructure management and railway undertakings (formerly known as train operators), by creating rules for how they conduct business with each other – both commercially and from an operating perspective. railway undertakings and infrastructure managers have defined functions and, in contrast to the 1994 Railway Safety Case Regulations (which have been superseded), have created a ‘level playing field’ between the two types of railway company. These directives are implemented through domestic legislation (some of which is safety related). 3.3 Directives (96/48 and 2001/16) and the Safety Directive (2004/49). The Interoperability Directives are implemented through RIR 2006, the Safety Directive through RAIR 2005 and ROGS 2006. 3.4 It is important for SMS holders to establish the scope of each of these regulations and, in particular, work out and document the extent to which their operation is governed by any parts of the regulations. Where they are governed by the regulations, the SMS should set out the means by which the SMS holder complies. Technical Specifications for Interoperability (TSIs) 3.5 The interoperability directives focus on the removal of technical barriers to the supply of equipment and the through-running of trains across Europe. They mandate a number of essential requirements to be met for:      Health Safety Environmental protection Reliability and availability Technical compatibility (along with others specific to certain sub-systems) Safety Management Systems Programme – A Guide to RSSB Activities, May 2007, Issue 2.0 Page 12 of 18 3.6 The directives also mandate the preparation and application of those TSIs that define the technical standards required to satisfy the requirements listed above. Furthermore, they require the adoption of common assessment and authorisation processes when new rolling stock is introduced or new lines are built, or when major work is performed on the railway. 3.7 The European Railway Agency (established under the Safety Directive as an agency of the European Commission) is responsible for the development of TSIs. Within their scope of applicability, TSIs take precedence over all national standards, including Railway Group Standards and company standards. However, there is a continuing role for national standards to manage those elements to which TSIs do not yet, or will never, apply. 3.8 While there are no mandatory obligations to participate in the development and amendment of TSIs, the ERA process is open to representatives of pan-European organisations that represent the railway sector and the National Safety Authority (ORR for the UK); a number of personnel from the GB railway are able to participate as a result. 3.9 RSSB facilitates cooperation and coordination among GB participants in the TSI development process through Standards Committees, which have a standing agenda to: coordinate intelligence, explore the implications of proposed TSIs, develop consensual positions (wherever possible) and advise representatives how to promote any consensus. 3.10 RSSB also facilitates explicit ‘mirror groups’ for all those interested in particular developments. The overall GB process of coordination is overseen by the Industry Standards Coordination Committee (whose minutes are published on the RSSB website). 3.11 SMS holders can influence the content of developing TSIs by becoming directly involved in the respective ERA working groups, or by participating in the RSSB-facilitated processes summarised above. Notified National Technical Rules (NNTRs) 3.12 NNTRs are national standards that either fills a gap where a TSI does not exist, or an ‘open point’ within a published TSI. The purpose of the NNTRs is to provide controls so that the essential requirements in the interoperability directives are met where the TSI has yet to define the specification. They are notified to the European Commission by the Department for Transport (DfT). 3.13 RSSB runs the process for review and recommendation as to what should be notified against the TSIs for infrastructure within the scope of RGSs. This is based on the current suite of Railway Group Standards and other documents that relate to the area covered by the TSIs. It is updated as the number and scope of published TSIs are progressively increased or when Standards that are themselves notified are revised. Prior to submission to the DfT, the list is approved by the Industry Standards Co-ordination Committee (ISCC). Railway Group Standards (RGS) 3.14 Published by RSSB, RGSs are technical and operational documents whose objective is to provide a framework for the efficient and safe management of the interface and for cooperation between different types of SMS holders. Compliance is mandatory upon all holders of Safety Certificates or Safety Authorisations for the mainline railway. 3.15 RGSs are produced and implemented as specified in the Railway Group Standards Code and, although RSSB keeps the processes under review, all the key decisions about changing standards or introducing new ones are taken by Standards Committees (consisting of representatives from SMS holders, suppliers and RSSB). The Code is also updated from time to time by agreement of RSSB members, endorsed by the RSSB Board and authorised by the ORR. The current Code was published in February 2006. Safety Management Systems Programme – A Guide to RSSB Activities, May 2007, Issue 2.0 Page 13 of 18 3.16 RSSB’s management of standards and the relationship between RGS and TSIs are summarised in the industry’s Strategy for Standards Management. See link: http://www.rgsonline.co.uk/rail/railway_group.html. 3.17 The Code places obligations on RSSB and SMS holders relating to the standards change process. Areas where the SMS holders can participate in standards change include:  Providing suitably competent personnel to sit on Standards Committees and other working and drafting groups managed by RSSB.  Responding to consultation by considering the implications of proposed changes.  Making considered responses to the proposals. 3.18 SMS holders identify (within their own management processes) potential changes to company standards necessitated by changes to RGSs. 3.19 For proposed RGS changes, RSSB consults all those on its stakeholder register. There is a specified time allowed for responses to enable all comments to be considered at the same time. The responses to the comments are issued to all stakeholders and published on the RSSB website, following review and agreement by the relevant Standards Committee(s). 3.20 The SMS holder proposes amendments to RGSs (when appropriate) for the delivery of a safer or more cost-effective railway. 3.21 The RGS Code identifies what steps SMS holders can take to regularise non-compliance with RGS. 3.22 While all RGSs are available via the RSSB website, the SMS holder is advised of changes to RGSs, including new and draft standards, withdrawals (and consultations on withdrawals), as controlled documents. 3.23 Where required by the RGS, SMS holders develop their own arrangements (standards, procedures, etc) to meet the requirements of the current RGSs applicable to their own activities, or to the activities of others acting on its behalf. If an RGS is issued or withdrawn, the SMS holder will decide whether changes to, or the withdrawal of, company standards are necessary. 3.24 Other cross-industry documents produced by RSSB using the RGS Code process include Rail Industry Standards (RISs), Rail Industry Approved Codes of Practice (RACOPs) and Guidance Notes (GNs). The SMS holder’s role in this process has already been defined above. Adoption of any of these documents is at the discretion of the SMS holder. 4 Placing into service of new or altered vehicles/ infrastructure ROGS Regulation 5, Schedule 4, Paras 65-74, 210-216 4.1 The placing into service of new/altered vehicles or infrastructure requires that an assessment be made of its compatibility with the railway system into which it is to be integrated. Safety Management Systems Programme – A Guide to RSSB Activities, May 2007, Issue 2.0 Page 14 of 18 (The Railways (Interoperability) Regulations 2006, 9.-(2) (b): ‘The notified body shall verify the interface between the project subsystem and the rail system in which it will be placed in service.’ 4.2 This is currently achieved through compliance with RGS GE/RT8270. However, it should be noted that RSSB is facilitating an industry drafting group to revise GE/RT8270 to align with the requirements of the interoperability regulations and ROGS more effectively. 4.3 Before new rolling stock is placed into service, it will be registered on the Rolling Stock Library in accordance with RGS GM/RT2453 Registration of Rail Vehicles and Mandatory Data Requirements (2000). Safety Management Systems Programme – A Guide to RSSB Activities, May 2007, Issue 2.0 Page 15 of 18 5 Training and competence and fitness/fatigue ROGS Regulations 24 & 25, Schedule 1, Paras 170, 171, 194e 5.1 Since its recent formation as a senior industry group the Rail Industry Skills Forum (RISF) has become the principal client group for workforce development and competence. It is chaired by the Network Rail Director of Human Resources and brings together rail industry employers, Sector Skills Councils and other relevant parties to address cross-industry issues in this field. RISF has become the principal client group for research and development in the field of workforce development and competence, and is very active in defining future research and disseminating existing research. 5.2 RSSB is the focal point for national occupational skills review and development activity in the railway industry. 5.3 Note the following good practice competence guides, which RSSB has produced for the industry (all due for revision in 2007):  RS/220 Good Practice Guide to Training (2003).  RS/501 Good Practice Guide to the use of Simulation for Training and Assessment (2005).  RS/701 Good Practice Guide to Assessment (2005).  Good Practice Guide 1. Assessing and developing the competence of senior management teams in strategic safety management (Jan 2003).  Good Practice Guide 2. Reviewing and developing the safety performance of managers (Jan 2003). 5.4 The ORR has published Developing and Maintaining Staff Competence. Railway Safety Principles and Guidance: Part 3 Section A (2007). Railway Group Standards 5.5 The following RGSs detail cooperation requirements relating to competence and training:  GO/RC3551 Approved Code of Practice – Train Driving (2002). This is due to be replaced in 2008 by two Good Practice Guides on Train Driving and further Good Practice Guides and Guidance Notes.  GO/RT3255 Train Working-Competence and Fitness (2000). Fitness and Fatigue 5.6 From 2 April 2007, RGSs will not set fitness standards for staff other than train drivers, guards, train despatch or shunting staff; for these roles, RGSs will continue to apply only until late 2007/early 2008. 5.7 GE/RT8070 Drugs and Alcohol (2003) details cooperation requirements relating to drugs and alcohol. 5.8 The ORR’s Managing Fatigue in Safety Critical Work 2006 (referred to in paragraph 171 of the ROGS Guidance) refers to fatigue management systems. Safety Management Systems Programme – A Guide to RSSB Activities, May 2007, Issue 2.0 Page 16 of 18 6 Exchange of safety information Schedule 1, Para 194f-h Railway Group Standards 6.1 The following RGSs detail cooperation requirements relating to the exchange of safety information:  GE/RT8250 Safety Performance Monitoring and defect reporting of Rail Vehicles, Plant and Machinery (2001).  GO/RT3209 Format and Content of the Weekly Operating Notice (2001).  GE/RT3210 Format and Content of the Periodical Operating Notice (2001).  GE/RT8004 Local Operating Instructions (2002).  GO/RT3350 Communication of Urgent Operating Advice (2007).  GE/RT8004 Local Operations Instructions (2002).  GK/RT0106 Safety Management of Signalling Failures (1999).  GO/RT3252 Signals Passed at Danger (SPAD) (2003).  GO/RT3208 Arrangements Concerning the Non-Operation of Track Circuits During the Leaf Fall Contamination Period (1998).  GM/RT2459 Data to be Displayed on Rail Vehicles (2000).  GM/RT2210 Identification of Rail Vehicles (1996). 6.2 CIRAS 6.3 The Confidential Incident Reporting and Analysis System (CIRAS) provides employees of any company in the railway industry with a confidential and independent way to report safetyrelated concerns without fear of recrimination, or where they feel unable to report through normal company channels. 6.4 Safety concerns may be reported to CIRAS, either via a dedicated telephone number, or in writing. The CIRAS unit will respond and produce a report which is allocated to relevant SMS holders who are required to investigate and confirm to CIRAS any action to be taken. 6.5 CIRAS periodically publishes a summary of selected safety concerns raised and the associated responses received. Note also SPADWEB, which is managed by RSSB. Safety Management Systems Programme – A Guide to RSSB Activities, May 2007, Issue 2.0 Page 17 of 18 7 Accident reporting, investigation, analysis and action Schedule 1, Para 194i Railway Group Standards 7.1 The following RGSs detail cooperation requirements relating to accidents:  GE/RT8047 Reporting of Safety-Related Information (2003).  GO/RT3473 Accident and Incident Investigation – Rapid Response (January 2007) – includes reference to RSSB’s provision of personnel to lead inquiries (where requested).  GO/RT3252 Signals Passed at Danger (SPAD) (2003).  GE/RT8033 National Confidential Reporting System (2001).  GO/RT3425 Management of Dangerous Goods Incident and Irregularity Information (2002).  GO/RT3437 Defective On-Train Equipment (2004).  GM/RT2273 Post-Incident and Post-Accident Examination Testing of Rail Vehicles (2005). SMIS 7.2 SMIS is described in detail in section 1, above; the recommendations tracking capability within SMIS should be noted. 8 8.1 Emergency planning The following RGSs detail cooperation requirements relating to emergency planning:  GO/RT3471 Incident Response Planning (2002).  GO/RT3472 Incident Management and Evidence Gathering (2002).  GO/RT3600 Requirements for Operational Security (2003). ROGS Regulation 5, Schedule 1, Paras 75, 76, 194j Safety Management Systems Programme – A Guide to RSSB Activities, May 2007, Issue 2.0 Page 18 of 18 9 Cooperation including: national schemes, research and development and standards. ROGS Regulations 22 and 26, Paras 156- 164, 172 and 174 Industry cooperation 9.1 The active membership of RSSB, including participation in its activities, is a significant demonstration of compliance with key elements of the duty of cooperation, (eg compliance with RGSs, participation in national programmes, arrangements for sharing of safety critical information, and so on). 9.2 For more information on the duty of cooperation framework, please refer to the RSSB publication A Guide to the Practical Implementation of Regulation 22 Duty of Cooperation between Transport Operators on Mainline Rail Network. Cross-industry groups 9.3                           The following cross-industry groups are facilitated by RSSB: RSSB Board. Systems interface committees. Industry Standards Coordination Committee. Standards committees and subgroups of standards committees. Train Horns Steering Group. Safety Policy Group. SMIS Programme Board. Safety Decisions Programme Think Tank. RSSB Safety Legislation Committee. Rail Sustainable Development Group. Sustainable Development Steering group NIR System Management Group. National SPAD Focus Group.(to migrate to Operations Focus Group). National SPAD Focus Group Steering Group. Community Safety Steering/Partnership Groups. National Level Crossing Group Steering Group. Research and Development Advisory Group. CIRAS Trust and Executive Committee. Yellow Book Steering Group. Risk Management Forum Steering Group. TPWS Reset and Continue Stakeholder Group. Workforce Development and Competence Advisory Group. Risk/Stakeholder Practitioners Working Group. RSSB Simulation Group. Rail Personal Security Group. Railway Industry Supplier Approval Scheme and Board. 9.4 SMS holders’ active participation is a further demonstration of their duty of cooperation. An SMS should summarise a transport operator’s process for supporting the activities of the cross-industry groups, including the nomination processes for company representatives empowered to represent them. Safety Management Systems Programme – A Guide to RSSB Activities, May 2007, Issue 2.0 Page 19 of 18 9.5 For more information on the industry meeting structure including remits, representation and papers, please refer to the RSSB website guide Duty of Cooperation Guide to Industry Safety Meeting Structure. Research and development 9.6 RSSB manages the Research and development (R&D) programme on behalf of government and the industry. 9.7 Among other business benefits, the SMS holder sees the R&D programme as a means of identifying cost-effective safety improvements. The programme is particularly focused on projects that are ‘cross-industry’ in nature, covering interfaces and systems issues, along with cross-industry learning and the development of good practice. It therefore complements R&D that the SMS holder itself may carry out on issues that are best dealt with at company level. 9.8 Participation in the R&D programme is through the SMS holder’s representative on the RSSB Board and the R&D Advisory Group. It may also be attained through the SMS holder’s involvement in other industry groupings that act as the client for RSSB’s research at project level. Further information on standards committees and systems interface committees 9.9 The purpose of the system interface committees (SICs) is to assist the railway industry to manage all aspects of identified system interfaces in the most cost-effective and efficient way. Further details of the way the SICs operate are available from the RSSB website (http://www.rssb.co.uk/sysic.asp). 9.10 Standards Committees are formed and operate in accordance with the RGS Code. They are committees of experts who represent relevant industry categories and who approve changes to Railway Group Standards and associated documents. 10 Safe design, maintenance and operation of the infrastructure Achieved through compliance with relevant RGSs, TSIs and NNTRs. ROGS Regulation 10, Para 104 10.1 11 Safe design maintenance and operation of rolling stock Achieved through compliance with relevant RGSs, TSIs and NNTRs. ROGS Regulation 22, Schedule 2, Para 161, Para 204 11.1 Safety Management Systems Programme – A Guide to RSSB Activities, May 2007, Issue 2.0 Page 20 of 18 Glossary ATOC CIRAS CSI CST GN HEN ISCC NNTRs NRMI ORR PIM RACoP RAIB RGS RIS RISAS RISF ROGS RPB RSC SIC SMIS SMS SPAD SRM TPWS TSI VPF Association of Train Operating Companies Confidential Incident Reporting and Analysis System Common Safety Indicator Common Safety Target Guidance Note Highway Economic Note Industry Standards Coordination Committee Notified National Technical Rules Network Rail managed infrastructure Office of Rail Regulation Precursor Indicator Model Rail Industry Approved Code of Practice Rail Accident Investigation Branch Railway Group Standard Railway Industry Standard Railway Industry Supplier Approval Scheme Rail Industry Skills Forum Railways and Other Guided Transport Systems (Safety) Regulations 2006 Risk Profile Bulletin Railway Safety Case Systems Interface Committee Safety Management Information System Safety Management System Signal Passed at Danger Safety Risk Model Train Protection and Warning System Technical Specification for Interoperability Value of Preventing a Fatality Safety Management Systems Programme – A Guide to RSSB Activities, May 2007, Issue 2.0 Page 21 of 18